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Investors Allege Peter Bell Failed to Follow Instructions

Feb 1, 2023 Investor Disputes

Peter Bell (CRD #: 2378665), a broker registered with LPL Financial, allegedly failed to follow multiple clients’ instructions, according to his BrokerCheck record, accessed on January 24, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On November 22, 2022, several investors filed a dispute alleging that Peter Bell failed to follow their instructions, leading to a decline in the value of their accounts between March and October 2022. This dispute was denied by the firm.

However, investors should be aware that firms don’t need to allow an outside review before denying a dispute. Investors can still seek out FINRA arbitration after a denial and may be able to recover their funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Peter Bell has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

Peter Bell is a registered broker in 18 states and a registered investment adviser in California, Texas, and Utah.

He has also worked for the following firms:

  • Stifel, Nicolaus & Company (CRD#:793)
  • Wachovia Securities (CRD#:19616)
  • A. G. Edwards & Sons (CRD#:4)
  • PFS Investments (CRD#:10111)

Kurta Law Can Help

If you worked with Peter Bell and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.